Every investment adviser that has its principal place of business in a state other than New Mexico shall be exempt from the requirements of this section, provided the investment adviser is licensed or registered in such state and is in compliance with such state’s recordkeeping requirements.

HISTORY OF 12.11.6 NMAC:

Pre-NMAC History: Material in this part was derived from that previously filed with the commission of public records - state records center and archives:

FID 67-1, Regulation 67-62, General Requirements, filed 5-18-67;

FID 76-1, Order 76-64, Regulation 76-1, Relating to Options Clearing Corporations, filed 3-26-76;

SB Rule 84-1, New Mexico Blue Sky Regulations, filed 9-5-84;

SD Rule 86-4.04, Investment Advisors’ Records, filed 7-11-86.

History of Repealed Material:

12 NMAC 11.3 Subpart 6, Investment Advisors’ Records (filed 4-19-99) repealed 1-1-2010.

Other History:

SD Rule 86-4.04, Investment Advisors’ Records, filed 7-1-86 was renumbered into first version of the New Mexico Administrative Code as 12 NMAC 11.3, Investment Advisors, Investment Advisor Representatives and Federal Covered Advisors, effective 5-1-99.

That relevant portion of 12 NMAC 11.3 Subpart 6, Investment Advisors’ Records (filed 4-19-99) was renumbered, reformatted, and replaced by 12.11.6 NMAC, Investment Advisors and Investment Advisor Representatives Records, effective 1-1-2010.

[12.11.6.11 NMAC - Rp, 12 NMAC 11.3.6.12, 1-1-2010]